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NEEDHAM INVESTMENT MANAGEMENT LLC 4

Accession 0000919574-11-006531

CIK 0000813619other
View on SEC.govCompany Profile

Filed

Nov 24, 7:00 PM ET

Accepted

Nov 25, 3:12 PM ET

Size

32.0 KB

Accession

0000919574-11-006531

Insider Transaction Report

Form 4
Period: 2011-11-23
SOUTHWALL TECHNOLOGIES INC /DE/SWTX
NEEDHAM GROWTH FUND
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
NEEDHAM GEORGE A
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
NEEDHAM INVESTMENT MANAGEMENT LLC
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
NEEDHAM GROUP, INC.
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
NEEDHAM CONTRARIAN FUND LP
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
NEEDHAM EMERGING GROWTH PARTNERS LP
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
Needham Contrarian QP Fund L P
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−43,126$586,514→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−7,000$95,200→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Fotnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−145,600$1,980,160→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−401,962$5,466,683→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−16,875$229,500→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−80,000$1,088,000→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
Footnotes (6)
  • [F1]The reported securities are directly owned by The Needham Group, Inc. (the "Needham Group").
  • [F2]The reported securities are directly owned by Needham Contrarian Fund, L.P., and may be deemed to be beneficially owned by Needham Investment Management L.L.C. ("NIM") by virtue of it serving as investment manager of Needham Contrarian Fund, L.P. Needham Asset Management, LLC ("NAM") may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. Lastly, George A. Needham ("Mr. Needham") may be deemed to beneficially own the reported securities by virtue of his position as Chairman and Chief Executive Officer of The Needham Group, the parent company of NAM. NIM, NAM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F3]The reported securities are directly owned by Needham Emerging Growth Partners, L.P., and may be deemed to be beneficially owned by NIM by virtue of it serving as investment manager of Needham Emerging Growth Partners, L.P. NAM may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. Lastly, Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Chairman and Chief Executive Officer of The Needham Group, the parent company of NAM. NIM, NAM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F4]The reported securities are directly owned by Needham Contrarian (QP) Fund, L.P., and may be deemed to be beneficially owned by NIM by virtue of it serving as investment manager of Needham Contrarian (QP) Fund, L.P. NAM may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. Lastly, Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Chairman and Chief Executive Officer of The Needham Group, the parent company of NAM. NIM, NAM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F5]The reported securities are directly owned by Needham Growth Fund, and may be deemed to be beneficially owned by NIM by virtue of it serving as investment adviser of Needham Growth Fund. NAM may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. NIM and NAM each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F6]The reported securities are directly owned by Mr. Needham.

Documents

1 file

Issuer

SOUTHWALL TECHNOLOGIES INC /DE/

CIK 0000813619

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001167212

Filing Metadata

Form type
4
Filed
Nov 24, 7:00 PM ET
Accepted
Nov 25, 3:12 PM ET
Size
32.0 KB
View on SEC.gov